FINRA: Communications with the Public: Compliance Issues for Wholesalers
Overview
This course is designed to help wholesalers understand their compliance responsibilities. It covers the consequences of noncompliance with requirements for communications with the public.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- explain what constitutes communication with the public
- identify content standards for communications with the public
- recognize FINRA review requirements
Designed For:
Wholesalers
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework